Senior Regional Compliance Associate

Company DescriptionFarther is a rapidly growing RIA that combines expert advisors with cutting-edge technology - delivering a comprehensive, tailored wealth management experience.Farther’s founders are leaders and innovators from the private wealth industry who possess a unique blend of traditional wealth management, fintech, and technology production expertise. We’re backed by top-tier venture capital firms, fintech investors, and industry leaders.Joining Farther means joining a collaborative team of entrepreneurs who are passionate about helping their clients and our teammates achieve more. If you’re the type who breaks through walls to get things done the right way, we want to build the future of wealth management with you. The RoleFarther is looking for a sharp, detail-oriented compliance professional to join our growing team as a Senior Regional Compliance Associate. In this role, you'll be embedded in one of our geographic regions, serving as the day-to-day compliance resource for a distributed network of advisors. You'll sit within the Compliance function and partner closely with business leadership across the firm to make sure our advisors can focus on what they do best, serving clients, while we keep the guardrails tight.Your ImpactServe as the primary compliance resource for your assigned region, supporting advisors and partnering with business leadership on supervisory mattersConduct regular reviews of trade blotters, correspondence, marketing materials, and attestationsReview and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnelProvide guidance, training, and direction on compliance-related matters to advisors across your regionInvestigate, document, and help resolve client complaints in coordination with the broader Compliance teamSupport regulatory examinations, internal audits, and ongoing Compliance initiativesProduce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and loggingPartner with RIA Managing Directors on advisor coaching opportunities tied to compliance standardsThe Ideal Match5+ years of financial services experience in a compliance or supervisory role, with demonstrated experience conducting principal-level or OSJ supervisory reviewActive Series 66 and Series 24 in good standingComprehensive knowledge of FINRA and SEC rules and regulationsHigh attention to detail, sound judgment, and integrity when handling sensitive or escalated mattersBachelor's degree or higherBonus PointsSeries 7 and Series 9/10 previously held or currently activeExperience supporting regulatory examinations or internal audits at an RIA or broker-dealerFamiliarity with compliance technology platforms and surveillance toolsBackground in a regulated financial services environment with OSJ or branch examination experienceTrack record working with distributed or remote advisor teamsPlease note: Some regional travel is required (~30%) and working hours may vary depending on the region you support.Why Join Us Competitive comp package that rewards impactWork alongside some of the brightest minds in fintechGround-floor opportunity at a fast-scaling startupChart your own growth path as we expandFull health benefits + 401(k) matching & Roth IRA optionsUnlimited PTOReady to disrupt wealth management? Let's talk!